| 24-00056 | 09/12/2024 | Claimant(s): Ronnie Lee Rozier
Claimant Lawyers(s): Ronnie L. Rozier
Respondent(s): Aubrey Parker, Wells Fargo Clearing Services, Rick Kent
Respondent Lawyers(s): Deirdre C. Wolff, Luis F. Mendez
Arbitrator(s): Robert H. Putnam, Andy W. Morgan, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
|  | Dismissed by Rule 12504 and 12206 |
| 16-01234 | 07/17/2017 | Claimant(s): Alan Rosenthal Family Trust
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Wells Fargo Advisors, Russell Blum
Respondent Lawyers(s): Deirdre C. Wolff, Russell Scott Blum
Arbitrator(s): Edward W. Morris
Hearing Site: Hartford, CT
| | Expungement |
| 14-00467 | 07/20/2016 | Claimant(s): Bruce Botts, Lynne Botts
Claimant Lawyers(s): Bruce Botts, Lynne Botts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Bill Swinford, Jeffrey M. Bain, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | Expungement |
| 15-01757 | 07/18/2016 | Claimant(s): John Long
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Keith Roberts
Hearing Site: New York, NY
| | $0 |
| 14-00439 | 02/08/2016 | Claimant(s): Richard Kingery
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Mark A. Myers, Stephen B. Agricola, James L. Warren
Hearing Site: Birmingham, AL
| | Expungement |
| 13-02739 | 02/02/2015 | Claimant(s): Edward Kraus, Sandra Kraus
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Carlos Dominguez, Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff, Walter L. Baumgardner
Arbitrator(s): Judith Stilz Ogden, John D. Mattingly, Yvette L. Nurse
Hearing Site: Atlanta, GA
| | Expungement |
| 13-00779 | 07/30/2014 | Claimant(s): Spencer Sheard
Claimant Lawyers(s): John F. Hill
Respondent(s): Wells Fargo Advisors, The Estate of Karl Baumholtz, Deceased
Respondent Lawyers(s): Deirdre C. Wolff, Karlene Clark
Arbitrator(s): Benjamin B. Segel, Jeffrey M. Bain, Cynthia Diane Rudick
Hearing Site: Cleveland, OH
| | $144,125 |
| 11-00218 | 09/08/2011 | Claimant(s): Thomas Hunter
Claimant Lawyers(s): Thomas M. Hunter
Respondent(s): Kel Stovall, Roger Wilkinson
Respondent Lawyers(s): Deirdre C. Wolff, Roger Wilkinson
Arbitrator(s): Lita S Menkin
Hearing Site: Atlanta, GA
| | $0 |
| 10-03778 | 08/04/2011 | Claimant(s): Joe Stapleton
Claimant Lawyers(s): Robert W. Elton
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Daniel P. Lund
Hearing Site: Orlando, FL
| | $0 |
| 09-03662 | 06/30/2011 | Claimant(s): Frances Lebrasca
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Barbara Regnitz, Wachovia Securities, Muneera Dawood
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Victor Elting, James F. Carlson, Kenneth N. Adamson
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
